Ascot Global Trading Limited Ascot Global Trading Limited operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003

Kasikorn Securities Public Company Limited Kasikorn Securities Public Company Limited failed to prepare and submit the result of the structured note, underlied to PTT Exploration and Production

prepare and submit the result of the structured note, underlied to PTT Exploration and Production Public Company Limited ("PTTEP") sale report to the SEC Office within the period specified in the